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Quest Diagnostics Incorporated
Secaucus, NJ, United States
The IT compliance analyst is a critical role to our compliance program. This position assists with internal and external audits by our pharmaceutical clients, College of American Pathologists (CAP), New York State, International Standards Organization (ISO), Internal and External Quality Assurance teams (including Medical Quality Assurance - MQA)
Job Source: Quest Diagnostics IncorporatedQuest Diagnostics
Secaucus, NJ, United States
Overview: The IT compliance analyst is a critical role to our compliance program. This position assists with internal and external audits by our pharmaceutical clients, College of American Pathologists (CAP), New York State, International Standards Organization (ISO), Internal and External Quality Assurance teams (including Medical Quality Assuran
Job Source: Quest DiagnosticsQuest Diagnostics
Secaucus, NJ, United States
Overview: The IT compliance analyst is a critical role to our compliance program. This position assists with internal and external audits by our pharmaceutical clients, College of American Pathologists (CAP), New York State, International Standards Organization (ISO), Internal and External Quality Assurance teams (including Medical Quality Assuran
Job Source: Quest DiagnosticsThe Goodkind Group
New York, NY, United States
Reporting directly to the SVP, Deputy Chief Compliance Officer, the Compliance Analyst will assist with the design and daily responsibilities of the compliance program for Capital Partners, managing a range of legal, regulatory and compliance risks associated with third-party capital management in a SOX environment Maintain and update controls desi
Job Source: The Goodkind GroupApollo Inc
New York, NY, United States
Position Overview The Compliance Analyst will join Apollo's Financial Crimes Compliance (FCC) Team, whose mission is to prevent, detect, and address illicit financial activities from occurring at Apollo. They will work closely with junior and senior members of Apollo's Compliance team and with business stakeholders with a focus on compliance with
Job Source: Apollo IncAtlantic Group
New York, NY, United States
Location: Midtown NYC Compensation: $100k-$140k base + bonus JOB FUNCTION The Legal and Compliance Analyst will work closely with other members of the Legal and Compliance Department and other departments throughout the firm on a wide spectrum of issues and initiatives. Responsibilities: Play a key role in the day-to-day administration and contin
Job Source: Atlantic GroupAssurant
New York, NY, United States
The SIU Compliance Analyst conducts compliance reviews to help ensure that all Assurant Business Units within scope have appropriate processes and methods to effectively comply with applicable state regulations regarding annual fraud reporting, training of integral anti-fraud personnel and the reporting of questionable claims. Results are summarize
Job Source: AssurantNew York City, NY
New York, NY, United States
The New York City Housing Authority (NYCHA) is the nation's largest public housing authority, with an operating budget of $3.3 billion and over 11,000 employees who manage and maintain 311 developments that house about 400,000 residents. NYCHA also operates the country's largest Section 8 program, which provides rental assistance to about 200,000 a
Job Source: New York City, NYNew York, NY, United States
About Rockefeller Capital Management:
Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London. The Firm oversees $133 billion in client assets as of March 31, 2024.
Position:
The RGFO Compliance Team is seeking a Compliance Analyst to assist with various aspects of the Compliance branch program including, regulatory advice and guidance, policy interpretation, conducting testing/monitoring activities, registrations and licensing, policy drafting and other related activities.
Responsibilities:
Participate as a team member supporting the RGFO branch coverage, advisory, registration business coverage areas.
Assist in the maintenance of various policies and procedures, including the RGFO Branch Compliance Manual and related policies.
Conduct surveillance of branch related activities and serve as an escalation point to business and Compliance Management.
Must be visible and available to consult with Compliance Management and Office Leadership teams.
Assist the Registrations team completing various tasks including, FINRA address changes, preparing pre-hire reports, insurance licensing requests and renewals, etc.
Assist with creating monthly reports and key metrics.
Assist with draft formal reports that summarize key risks, issues and/or recommended actions.
Assist with compliance oversight including developing and maintaining effective controls designed to monitor the effectiveness of the compliance program.
Advise senior Compliance Management on emerging compliance risks and issues.
Qualifications: Minimum of 3 years of Compliance/Audit or related experience.
An understanding of various SEC and FINRA Rules and Regulations.
Ability to exhibit excellent judgement and escalation to management.
General foundational knowledge of financial services and various product offerings.
Willingness to participate in tactical and strategic department initiatives.
The ability to work independently and as part of a team.
FINRA Series 7 and/or other licenses preferred, not required.
Skills: Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner.
Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making.
Demonstrated ability to work effectively and cross-functionally with employees at all levels.
Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.
Ability to analyze matters combined with the willingness and ability to perform routine tasks.
Ability to work collaboratively and independently.
Excellent organizational skills and ability to handle multiple projects at one time.
The ideal candidate will have MS Office and database experience.
Compensation Range:
The anticipated base salary range for this role is $80,000 to $90,000. Base salary for the role will depend on several factors, including a candidates qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more. Visit careers.rockco.com to learn more about additional opportunities and benefits offerings. ?
Disclosure:
Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, Rockefeller) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (protected characteristics).
Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.
Email Alert for Compliance Analyst jobs in New York, NY, United States
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